The International Risk Regulatory Engagement team ensures the Risk organisation maintains strong and productive
regulatory relationships across the world with key international regulators. The team proactively manages regulatory
matters to ensure the organisation is well positioned and responsive in regulatory interactions. The team partners closely
with subject matter experts within risk segments to:
● Oversee and coordinate regulatory examinations and reviews to ensure the risk organisation proactively addresses
regulatory requests and concerns;
● Manage regulatory interactions, including recurring liaison meetings and ad hoc information requests, to strengthen
regulatory relations from an Independent Risk Management perspective;
● Support the development of appropriate and comprehensive responses and remediation plans when regulatory issues
and concerns are identified;
● Work closely with partners in other International Functions and Businesses, to ensure consistent, insightful, and clear
communications to regulators;
● Conduct Exam Readiness assessments to ensure the risk organisation is prepared for upcoming regulatory reviews;
and
● Ensure alignment and leverage operating model / best practices from the global Risk Regulatory Engagement team.
The International Risk Regulatory Engagement team is part of the Chief Administrative Office (CAO) team, reporting to
the Banking & International, and Market Risk team, up to the Regulatory Engagement team, which reports to the CAO.
Position Objective:
The suitable candidate will help driving the execution of regulatory interactions across Risk Management within the
International space, to ensure the organisation is responsive, agile and well-prepared for unique and demanding
regulatory requests. The position will require significant project management and stakeholder engagement to ensure that
regulatory interactions are thoughtful, comprehensive and promote consistent messaging. In addition, there is opportunity
to provide senior management with themes that emerge from the feedback received through these points of regulatory
contact.
Key Responsibilities:
● Manage complex regulatory exams that require significant program management across risk teams, with a focus on
ensuring regulatory expectations are addressed on a holistic and consistent basis.
● Establish effective working relationships and partner with key stakeholders and subject matter experts across relevant
risk segments to ensure a more integrated approach to regulatory relations.
● Support proactive communication strategies with regulators and prepare materials and other submissions provided to
regulators.
● Synthesize regulatory feedback and key thematic findings to senior management, the International CRO and key
stakeholders to drive awareness of and help anticipate regulatory concerns.
● Review and provide quality assurance of risk management deliverables submitted to regulators.
● Support and advise more junior Regulatory Coordinators in the execution of administrative requirements for regulatory
exams and interactions.
● Assist in high priority regulatory ad hoc projects across their lifecycle by identifying and structuring problems,
analyzing root causes, developing solutions, communicating project results, and obtaining buy-in for change
Development Value:
The position provides the opportunity to work closely with stakeholders from Independent Risk Management on critical
regulatory interactions with key international regulators. The position requires working closely with Risk Management to
provide guidance and support during critical regulatory exams and interactions and to ensure well-managed, productive
and insightful communications.
Qualifications:
● 10+ years of experience in the Financial Services industry, preferably in a regulatory-facing role that requires superior
problem solving and excellent oral/written communication skills (Regulatory or Compliance background a plus)
● Excellent influencing, facilitation, and partnering skills. Ability to build strong internal and external networks
● Exceptional writing skills, with ability to synthesize complex concepts and translate into effective presentations to
external regulators and Senior Executives
● Working knowledge in a broad range of risk management disciplines including credit, market, and operational risks.
● Experience working at a banking regulatory agency, such as the ECB, CBI, BaFin, etc.; and working knowledge /
familiarity with prudential regulations, a plus
● Understanding of products, processes, risk stripes, frameworks, policies and risk & control environments
● Strong attention to detail, willingness to "roll up sleeves"; ability to work under pressure and tireless work ethic
● Autonomous and highly motivated with the ability to multi-task productively and to work independently as well as
collaboratively
● Experienced in project management with excellent organizational, follow-up and time management skills
● Experience in regulatory and Internal Audit interaction, exam management/ coordination, and issue management/
resolution
● Business management or analytical background (Master's degree in business or relevant discipline preferred;
Bachelor's degree with analytic focus, e.g. business, finance, economics, management information systems, etc.)
